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Showing 61 to 70 of 279 search results for internal audit report.

  1. FCA response to the independent panels’ annual reports

    Corporate documents Published: 01/02/2024 Last modified: 07/02/2024
    In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports.
  2. Proceeds of fraud - Detecting and preventing money mules

    Multi-firm reviews Published: 19/10/2023 Last modified: 13/11/2023
    We share the key findings from our review of payment account providers’ systems and controls against money mule activity.
  3. FCA and PSR Boards appoint new members to decision-making committees, including new chair and two deputy chairs

    Press Releases Published: 21/09/2015 Last modified: 21/09/2015
    Caroline Ramsay is a Chartered Accountant with 20 years’ experience in insurance and investment management gained during her executive career in Finance and Audit. ... In June 2015 Caroline retired from her role as Group Chief Internal Auditor, RSA
  4. Understanding approaches to D&I in financial services

    Multi-firm reviews Published: 12/12/2022 Last modified: 13/12/2022
    The FCA observed how financial services firms are designing and embedding diversity and inclusion strategies. The observations give an overview of initiatives to improve diversity and inclusion, which industry leaders can consider in reviewing their
  5. Wholesale banks and asset management cyber multi-firm review findings

    Multi-firm reviews Published: 10/12/2018 Last modified: 10/12/2018
    In late 2017 and early 2018 we carried out a cyber multi-firm review with a sample of 20 firms in the asset management and wholesale banking sectors. The firms we selected varied in terms of their size, scale, operating models and geography. These
  6. Internal Audit Division - Information Pack [pdf]

    Corporate documents Published: 01/04/2013 Last modified: 03/08/2016
    An information pack summarising the objectives, responsibilities and methods of operation of the FCA's internal audit division.
  7. Mortgage Audits

    Warnings Published: 05/11/2020 Last modified: 05/11/2020
    Mortgage Audits is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.
  8. External audit requirements for insurance intermediaries

    Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
    Insurance intermediary audit requirements for firms. Read more about what you need to do.
  9. Client assets and coronavirus (Covid-19)

    Firms Tasks for regulated firms Published: 06/04/2020 Last modified: 13/02/2023
    Summary of queries we have received and our position on client assets (CASS) compliance related to the current disruption caused by coronavirus (Covid-19).
  10. How we work

    About us Last modified: 19/03/2024
    Find out about the FCA Strategy 2022 to 2025, including our expectations for financial services over the next 3 years and how we'll measure our performance.